Jeremy M. Connally
PRINCIPAL SECURITIES
Carmel, CA 93923
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CRD#: 5771573
Professional summary
Jeremy Michael Connally, CFP® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Carmel, California.
Jeremy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Jeremy has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
**FARMERS PROPERTY AND CASUALTY POSITION: Farmers Property and Casualty NATURE: P&C INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 09/01/2022 ADDRESS: 404 W Franklin St, Suite 102, Monterey CA 93940, United States DESCRIPTION: My wife owns a Farmers Insurance Agency which I support as agency manager 60 hrs per month. As agency manager, I will facilitate training on P&C business in staff meetings, review production of staff, may meet with Farmers Corporate to talk about agency, and will conduct joint meetings with P&C agents for high value clients. **GRACIE UNIVERSITY MONTEREY POSITION: Coach NATURE: I coach Jiujitsu for Gracie University Monterey. I trade coaching for free attendance at the gym for myself and my kids. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2019 ADDRESS: 636 Lighthouse Ave, Monterey CA 93940, United States DESCRIPTION: I am a coach for children's and beginner adult jiujitsu classes. I teach 3 1-hour classes 4 Tuesdays per month. **INSURANCE POSITION: Fixed Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/01/2022 ADDRESS: 26609 Fisher Dr, Carmel CA 93923, United States DESCRIPTION: The sale of 'non-variable' insurance products such as fixed life insurance, fixed annuities, disability income insurance, health insurance, long-term care insurance, property, casualty, and/or group benefits. **CONNALLY HOLDINGS LLC POSITION: Investment Property NATURE: Real Estate Rental Income INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 11/27/2023 ADDRESS: 26609 Fisher Dr, Carmel CA 93923, United States DESCRIPTION: My wife and I will be establishing an LLC to invest in rental properties. They may be in multiple states. **CONNALLY HOLDINGS LLC POSITION: Real Estate Investment Partnership NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/30/2024 ADDRESS: 26609 Fisher Dr, Carmel CA 93923, United States DESCRIPTION: The Connally Holdings LLC owns rental real estate property. This OBA would extend its operations to investing in properties for flipping (purchase, upgrade, and re-sell) and include partners outside of my wife and myself. The partners are not clients of Principal and I will not be soliciting for partners, do not get compensation from the partnership, other than what results from the transactions profit or losses.
CRS (Client Relationship Summary) - RIA
Click below to view Jeremy Michael Connally's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeremy Michael Connally's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2021
Experience
Current
September 1, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 200 Clock Tower Pl Bldg D Ste 101h, Carmel, CA 93923RIA
BD
CRD#: 1137
Carmel, CA
Current
September 1, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 200 Clock Tower Pl Bldg D Ste 101h, Carmel, CA 93923RIA
BD
CRD#: 1137
Carmel, CA
Past
April 5, 2013 - September 1, 2022
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
MONTEREY, CA
Past
August 26, 2010 - March 13, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
PASO ROBLES, CA
Past
May 11, 2010 - March 13, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
PASO ROBLES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/11/2024)
RR
California(9/1/2022)
IAR
California(9/1/2022)
RR
Colorado(9/23/2022)
RR
Washington(8/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Carmel, CA 93923TRUST BUT VERIFY
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